The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE |
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| Report for the Calendar Year or Quarter Ended: | 09-30-2019 |
| Check here if Amendment | Amendment Number: | |
| This Amendment (Check only one.): | is a restatement. | |
| adds new holdings entries. |
| Institutional Investment Manager Filing this Report: | |
| Name: | AXA |
| Address: | 1290 AVENUE OF THE AMERICAS |
| NEW YORK, NY 10104 | |
| Form 13F File Number: | 028-03570 |
The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of Reporting Manager: | ||||
| Name: | Anthony Bruccoleri | |||
| Title: | Lead Director | |||
| Phone: | 201-743-5046 | |||
| Signature, Place, and Date of Signing: | ||||
| Anthony Bruccoleri | Charlotte, NC | 11-14-2019 | ||
| [Signature] | [City, State] | [Date] | ||
| As of December 31, 2017, AXA Assurances I.A.R.D. Mutuelle and AXA Assurances Vie Mutuelle (collectively, "Mutuelles AXA"), directly beneficially owned approximately 14.13% of the issued ordinary shares (representing approximately 23.97% of the voting power) of AXA. The Mutuelles AXA declare that the filing of this Form shall not be construed as an admission that either of them is the beneficial owner of any securities covered by this Form. All media outlets, please contact Kevin Molloy (212-554-1234) with any questions. | ||||
| Report Type (Check only one.): | |
| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) | |
| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) | |
| X | 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
| List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] | |||
| Form 13F File Number | Name | ||
| 028-10562 | ALLIANCEBERNSTEIN L.P. | ||
| 028-02701 | Allianz Asset Management of America L.P. | ||
| 028-13991 | Allianz Global Investors U.S. LLC | ||
| 028-01006 | BARROW HANLEY MEWHINNEY & STRAUSS LLC | ||
| 028-04293 | BLACKROCK FINANCIAL MANAGEMENT INC/DE | ||
| 028-12016 | BlackRock Investment Management, LLC | ||
| 028-11611 | Clearbridge Investments, LLC | ||
| 028-10648 | DIAMOND HILL CAPITAL MANAGEMENT INC | ||
| 028-05269 | EARNEST PARTNERS LLC | ||
| 028-03578 | FRANKLIN ADVISERS INC | ||
| 028-01887 | GAMCO INVESTORS, INC. ET AL | ||
| 028-10981 | GOLDMAN SACHS ASSET MANAGEMENT, L.P. | ||
| 028-14519 | Horizon Kinetics LLC | ||
| 028-00255 | Invesco Advisers, Inc. | ||
| 028-00694 | JPMORGAN CHASE & CO | ||
| 028-00413 | LORD, ABBETT & CO. LLC | ||
| 028-04968 | MASSACHUSETTS FINANCIAL SERVICES CO /MA/ | ||
| 028-11866 | MORGAN STANLEY INVESTMENT MANAGEMENT INC | ||
| 028-12454 | POST ADVISORY GROUP LLC | ||
| 028-11338 | SSGA FUNDS MANAGEMENT INC | ||
| 028-00115 | PRICE T ROWE ASSOCIATES INC /MD/ | ||
| 028-05454 | TEMPLETON GLOBAL ADVISORS LTD | ||
| 028-06605 | THORNBURG INVESTMENT MANAGEMENT INC | ||
| 028-04557 | WELLINGTON MANAGEMENT GROUP LLP | ||
| 028-10220 | WESTFIELD CAPITAL MANAGEMENT CO LP | ||
| 028-00165 | WELLS FARGO & COMPANY/MN | ||
| 028-05320 | PALISADE CAPITAL MANAGEMENT LLC/NJ | ||
| 028-11685 | 1832 Asset Management L.P. | ||
| 028-00398 | LOOMIS SAYLES & CO L P | ||
| 028-02682 | UBS ASSET MANAGEMENT AMERICAS INC | ||
| 028-14009 | QS Investors, LLC | ||
| 028-04379 | FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP | ||
| 028-05840 | VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. | ||
| 028-13328 | HS Management Partners, LLC | ||
| 028-01343 | JANUS CAPITAL MANAGEMENT LLC | ||
| 028-03687 | POLEN CAPITAL MANAGEMENT LLC | ||
| 028-02204 | Brandywine Global Investment Management, LLC | ||
| 028-10469 | LAZARD ASSET MANAGEMENT LLC | ||
| 028-10368 | IVY INVESTMENT MANAGEMENT CO | ||
| 028-01091 | AMERICAN CENTURY INVESTMENT MANAGEMENT INC | ||
| 028-12282 | FIAM LLC | ||
| 028-02013 | HARRIS ASSOCIATES L P | ||
| 028-06487 | FIRST TRUST ADVISORS LP | ||
| 028-00096 | CAPITAL GUARDIAN TRUST CO | ||
| 028-00127 | BNY Mellon Investment Adviser, Inc. | ||
| Form 13F Summary Page | |||||
| Report Summary: | |||||
| Number of Other Included Managers: | 8 | ||||
| Form 13F Information Table Entry Total: | 2,728 | ||||
| Form 13F Information Table Value Total: | 25,093,702 | ||||
| (thousands) | |||||
| List of Other Included Managers: | |||
| Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. | |||
| [If there are no entries in this list, state “NONE” and omit the column headings and list entries.] | |||
| No. | Form 13F File Number | Name | |
| 1 | 028-10563 | AXA ASSURANCES I A R D MUTUELLE ET AL | |
| 2 | 028-03638 | AXA ASSURANCES VIE MUTUELLE ET AL | |
| 5 | 028-14633 | AXA Equitable Funds Management Group, LLC | |
| 6 | 028-10564 | AXA ROSENBERG INVESTMENT MANAGEMENT LLC | |
| 7 | AXA Investment Managers Paris | ||
| 8 | AXA INVESTMENT MANAGERS UK Ltd | ||
| 4 | AXA Equitable Holdings, Inc. | ||
| 9 | 028-17910 | XL Group Investments Ltd | |